Wealth manager, independent · Westlake Village, CA
Winters Financial Group, Inc.
SEC-registered investment adviser · CRD 309549 · SEC 801-121556
At a glance
Winters Financial Group, Inc. is an SEC-registered investment adviser based in Westlake Village, California, with $252 million in regulatory assets under management as of its Form ADV filed March 21, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 244 individual clients. By Form ADV it is a wealth manager, ranked 4,964th of 8,915 wealth managers and 11,042nd of 17,210 SEC-registered advisers by assets.
Main office 805-497-1717wfginc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $252M
- Rank among wealth managers
- #4,964 of 8,915
- Rank among all SEC RIAs
- #11,042 of 17,210
- Rank in California
- #1,271 of 1,873
- Individual clients
- 244
- High-net-worth clients
- 71
- Accounts
- 634
- Discretionary
- 0% of AUM
- Employees
- 3
- Advisory staff
- 2
- Offices
- 3
Owners and executives on its Form ADV
- Richard K. WintersOwner and Chief Compliance Officer
- Janice E. WintersOwner
Custody and brokerage
Broker-dealer
Hybrid RIA
Winters Financial Group, Inc. is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Simplicity Investments as the broker-dealer its advisers are registered with.
attorneys, accountants, insurance, etc.), including the Registrant’s Principal and representatives in their individual capacities as registered representatives of Simplicity Investments (“Simplicity”) and/or as a licensed insurance agents.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 71 | $185M | 73% |
| Individuals | 173 | $50M | 20% |
| Pension and profit sharing plans | 29 | $18M | 7% |
| Corporations or other businesses | – | $0M | <1% |
Disciplinary disclosures
Winters Financial Group, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗wfginc.com ↗
AtlasMembers
The full record on Winters Financial Group, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 4 years of filings
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- Growth over one, three and five years
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- Rank against 6,362 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Winters Financial Group, Inc. manage?
Winters Financial Group, Inc. reports $252 million in regulatory assets under management across 634 accounts, on its Form ADV filed March 21, 2026.
What kind of firm is Winters Financial Group, Inc.?
Winters Financial Group, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Winters Financial Group, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($185 million, 71 clients); individuals ($50 million, 173 clients); pension and profit sharing plans ($18 million, 29 clients).
Does Winters Financial Group, Inc. have any disciplinary history?
Winters Financial Group, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Winters Financial Group, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-21), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →